{
  "schema_version": 1,
  "title": "AI 2040 Plan A Track 3 traceability",
  "primary_reference": "https://ai-2040.com/print/covert-ai-projects",
  "rows": [
    {
      "id": "recommendation-1",
      "reference": "Recommendation #1",
      "requirement": "Audit semiconductor supply chain and accelerator-vendor sales to establish an accurate record of pre-deal compute production.",
      "repo_artifacts": [
        "data/external/epoch_ai/ai_chip_components_quarterly_by_chip.csv",
        "data/external/epoch_ai/ai_chip_components_quarterly_by_designer.csv",
        "data/external/epoch_ai/ai_chip_components_supply_denominators.csv",
        "data/external/epoch_ai/ai_chip_sales_chip_types.csv",
        "data/external/epoch_ai/ai_chip_sales_organizations.csv",
        "data/external/epoch_ai/ai_chip_sales_timelines_by_chip.csv"
      ],
      "status": "PARTIAL",
      "gap": "Public source snapshots are preserved, but complete production reconciliation is not claimed."
    },
    {
      "id": "recommendation-2",
      "reference": "Recommendation #2",
      "requirement": "Trace declared compute sales to physical end-use location, audit large owners recursively, and sample smaller owners.",
      "repo_artifacts": [
        "data/track3/observation_queue.json",
        "data/track3/evidence_records.json",
        "data/track3/ai2040_plan_a_mapping.json"
      ],
      "status": "PARTIAL",
      "gap": "Public site and aggregate compute evidence exist; transaction-level recursive transfer chains and physical inspections are not yet public."
    },
    {
      "id": "recommendation-3",
      "reference": "Recommendation #3",
      "requirement": "Locate remaining unaccounted compute with incentives and aerial imagery.",
      "repo_artifacts": [
        "data/track3/observation_queue.json",
        "data/track3/remote_sensing_observation_targets.json",
        "data/track3/remote_sensing_observations.json",
        "data/track3/disclosure_protocol.json"
      ],
      "status": "PARTIAL",
      "gap": "The repository has an explicit physical-observation worklist and 631 derived observations across 92 of 93 Epoch sites, plus a disclosure protocol. One reference-site physical target remains unresolved and there is no public dataset of verified incentive/disclosure events."
    },
    {
      "id": "appendix-b-1",
      "reference": "Appendix B §1",
      "requirement": "Starting from verified vendor sales, recursively audit every direct customer above threshold T and continue until unaudited recipients are below T.",
      "repo_artifacts": [
        "data/track3/audit_population_protocol.json",
        "data/track3/entity_resolution.json",
        "track3_audit_chain.py",
        "track3_units.py",
        "data/track3/h100e_conversion.json"
      ],
      "status": "FRAMEWORK_IMPLEMENTED",
      "gap": "The threshold-based audit population and entity-resolution interfaces are implemented; no closed external audit population or realized audit outcome is claimed. track3_audit_chain.py runs the recursive above-T audit on a declared ledger; only a synthetic example exists."
    },
    {
      "id": "appendix-b-2",
      "reference": "Appendix B §2",
      "requirement": "Add untraceable sales and unverifiable decommissioning to an untraced pool L.",
      "repo_artifacts": [
        "data/track3/untraced_compute_pool.json",
        "track3_audit_chain.py"
      ],
      "status": "FRAMEWORK_IMPLEMENTED",
      "gap": "The residual untraced-compute pool and closure rules are implemented; its current value remains UNKNOWN because the transaction chain is not closed. track3_audit_chain.py computes L from a declared ledger (unauditable counterparties, unverified decommissioning, unaccounted units, inspection shortfalls); only a synthetic example exists."
    },
    {
      "id": "appendix-b-3",
      "reference": "Appendix B §3",
      "requirement": "Complete the account so compute is physically verified, added to L, or delivered to a below-threshold recipient.",
      "repo_artifacts": [
        "data/track3/ai2040_plan_a_mapping.json",
        "data/track3/evidence_records.json",
        "track3_audit_chain.py"
      ],
      "status": "FRAMEWORK_IMPLEMENTED",
      "gap": "Account reconciliation (physically verified, added to L, or delivered to a below-threshold recipient) is implemented in track3_audit_chain.py and exercised on a synthetic closed population; no real transaction ledger is public, so no actual compute is reconciled."
    },
    {
      "id": "appendix-b-4",
      "reference": "Appendix B §4",
      "requirement": "Randomly sample H100e units from below-threshold deliveries and trace each through resales to physical inspection or failure.",
      "repo_artifacts": [
        "data/track3/sampling_protocol.json",
        "data/track3/serial_continuity_protocol.json",
        "track3_audit_chain.py"
      ],
      "status": "FRAMEWORK_IMPLEMENTED",
      "gap": "A deterministic sampling and serial-trace protocol is implemented; no realized sample outcome is claimed."
    },
    {
      "id": "appendix-b-5",
      "reference": "Appendix B §5",
      "requirement": "Sample units from the tail proportional to deliveries and audit the selected recipient's account.",
      "repo_artifacts": [
        "data/track3/sampling_protocol.json",
        "track3_audit_chain.py"
      ],
      "status": "FRAMEWORK_IMPLEMENTED",
      "gap": "The sampling-frame and reproducibility contract is implemented; population eligibility and realized outcomes remain external."
    },
    {
      "id": "appendix-b-6",
      "reference": "Appendix B §6",
      "requirement": "Resolve sampled units proportionally between current holdings and onward sales.",
      "repo_artifacts": [
        "data/track3/serial_continuity_protocol.json",
        "track3_audit_chain.py"
      ],
      "status": "FRAMEWORK_IMPLEMENTED",
      "gap": "The lifecycle/transfer integrity protocol is implemented; no global serial ledger is publicly ingested. track3_audit_chain.py resolves each sampled unit in proportion to held, sold-onward and decommissioned units and follows onward sales to the buyer."
    },
    {
      "id": "appendix-b-7",
      "reference": "Appendix B §7",
      "requirement": "Classify each sample trace as pass or fail and statistically constrain the undetected tail.",
      "repo_artifacts": [
        "data/track3/certificate_model.json",
        "track3_certificate.py",
        "track3_audit_chain.py"
      ],
      "status": "FRAMEWORK_IMPLEMENTED",
      "gap": "The tail-bound certificate calculator is implemented; no empirical certificate is asserted without a closed population and observed sample outcomes."
    },
    {
      "id": "appendix-b-8",
      "reference": "Appendix B §8",
      "requirement": "Use minimal-notice inspections and record serial numbers to prevent borrowed-chip audit evasion.",
      "repo_artifacts": [
        "data/track3/inspection_protocol.json",
        "data/track3/serial_continuity_protocol.json"
      ],
      "status": "FRAMEWORK_IMPLEMENTED",
      "gap": "Inspection and serial-capture protocols are implemented; current authorized physical inspection observations remain zero."
    },
    {
      "id": "appendix-b-9",
      "reference": "Appendix B §9",
      "requirement": "Control post-deal transfers above de minimis and require witnessed destruction or serial-verified recycling.",
      "repo_artifacts": [
        "data/track3/decommissioning_protocol.json"
      ],
      "status": "FRAMEWORK_IMPLEMENTED",
      "gap": "Post-deal transfer/destruction/recycling verification rules are implemented; no independent enforcement authority or complete public event ledger is claimed."
    }
  ],
  "updated_on": "2026-09-30"
}